N.A,S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Aibitration Between Maim, nf riaimants Helen M. Blayer Alfred L. Besade, Jr. Name of Respondents Prudential Securities, Inc. Case Nos. 94-00159 and 94-00148 HW.PPTO81iyrrATION For Claimants, Hden M. Bkyer ("Blayer") and Alfned L. Besade, Jr. ("Besade"): Lawrence D. Maitin, Esq. and John G. Vega, Esq., of Vega, Stanley, Maitin & Zelman, P.A., N^les, Florida.

NATIONAL ASSOCIATION OP SECURITIES DEALERS In t;he Matter of Arbitration Between. Name of Claimant Rockwell Trading Co. a division of Track Data Corp.^, V. 94-00191 Name of Respondent Fahnstock & Co., Inc. REPRESENTATION For Claimcint Rockwell Trading Co.: Solomon J. Jaskiel, Esq., New York, NY For Respondent Fahnstock & Co., Inc.: George Brunelle, Esq., New York, NY CASE INFORMATION Statement of Claim filed: January 12, 1994.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eric Morse, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and John T. Campbell, (Respondents) Case Number: 01-05216 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eric Morse, hereinafter referred to as "Claimant": Philip S. Raible, Esq., Mintz & Gold, LLP, New York, NY. Respondents, Merrill Lynch, Pierce, Fenner & Smith Inc., ("Merrill Lynch") a

N.A.S.D. AWARD WATTQNAL ASSOCTATIOMf OF SECURITIES DEALERS Lewis H. Oster, and Mary M. Oster, Claimants, No. 94-00053 Charles Lindquist, and Miller & Schroeder Municipals, Inc. Respondents. REPRBSEMTATIQW OF PARTIES Claimants Lewis H. Oster and Mary M. Oster ("Claimants") appeared on their own behalf. Respondents Charles Lidquist and Miller & Schroeder Municipals, Inc. ("Respondents") were represented by Cornell L. Moore, Esq., of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimants FredZalalan 94-00100 Name of Respondents Chatfield Dean & Co., Inc. Les Smith CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Januaiy 7, 1994, Claimant Fred Zalatan, who appeared Pro Se, aUeged that in November of 1991 Respondent Les Smith ("Smith"), a brolrer at RespondeDt Ch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of paims^pt Harold E. Doley, ffl MODIFIED AWARD 94-03392 Nayne of Respondent Doley Securities, Inc. In a claim filed with the National Association of Securities Dealers, Inc. on August 24, 1994, Claimant Harold E. Doley, IH, who appeared Pro Se, alleged that Respondent Doley Securities, Inc., failed to reimburse him for chaiges he incurred on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between WUliam Glazier Award No. vs. 94-03391 Name of Resppndents Raymond L Grenier, Jr Delta Equity Services Corp REPRESENTATION Claimant, William Glazier ("Claimant"), was not represented by counsel at the hearing and is located in Boylston, Massachusetts. For Respondents, Raymond Grenier, Jr. ("Grenier") and Delta Equity Services Corporation ("DE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) PCM Securities, Ltd. 94-03387 REPRESENTATION For Claimant, PCM Securities, Ltd. ("PCM"): Roland Greenspan, Senior Vice Piesident/Branch Manager of PCM. For Respondent, James Boatright ("Boatright"): James Boahight ("Pro Se") (See "Other Issues"). CASE INFORMATION Statement of Claim filed: August IS, 1994. Claimant's

N.A.S.D. AWARD m^TIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Diane C.T. Schettini 94-03366 Name of Respondents Legg Mason Wood Walker, Inc Nancie L. Walsh REPRESENTATION Claimant Diane Schettini ("Claimant") was represented at the hearing by Mary T. Wickham, Esq., of Richmond, VA Respondents Legg Mason Wood Walker, Inc. ("Legg Mason") and Nancie L. Walsh ("Walsh") were represente

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Thomas Sheridan O'Keefe and 94-03363 NameofRespondgnt Piper Jaffray Inc. Steven J. Berghs REPRESENTATION OF PARTIES Thomas Sheridan O'Keefe ("Claimant") was represented by Jeffrey L. Liddle, Esq. and Ethan A. Brecher, Esq., Liddle & Robinson, L.L.P., New York, New York and Joel C. Golden, Esq., Bloomington, Minnesota. Piper Jaf&ay Inc. ("Respondent Pipe